William M. Dratel
Professional summary
William Marshall Dratel was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial professional and started their career in finance in 1977. Prior to being barred, William had worked at 4 firms, which includes THE DRATEL GROUP INC., NORTHEAST SECURITIES CORP., PRUDENTIAL EQUITY GROUP LLC, BACHE HALSEY STUART INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 1980 - May 2, 2014
THE DRATEL GROUP, INC.
July 25, 1979 - April 20, 1981
NORTHEAST SECURITIES CORP.
September 16, 1977 - September 10, 1979
PRUDENTIAL EQUITY GROUP, LLC
September 1, 1977 - September 16, 1977
BACHE HALSEY STUART INC.
State Registrations and Notice Filings
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Exams
Series 55
Date: 10/24/2000
Limited Representative-Equity Trader ExamPC
Date: 6/15/1988
AMEX Put and Call ExamSeries 8
Date: 6/24/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
THE DRATEL GROUP, INC.
CRD#: 8049 / SEC#: , 8-24348
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DRATEL, WILLIAM MARSHALL | PRESIDENT/CHIEF COMPLIANCE OFFICER | 843025 |
Disclosures
| Regulatory Event | 11 |
Red Flags
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